- Where it gets stuck
- Before an annual review, someone pulls the valuation from the portfolio system, checks the allocation against the risk profile on file, rereads the year’s notes and emails for a retirement date, a house move or a new grandchild, and drafts the questions. After the meeting, the review letter or suitability report waits another week.
- What the workflow does
- A review pack is prepared from the portfolio system and the CRM: performance; the year’s costs and charges; drift from the agreed profile since the last review; the life events and requests recorded during the year; and the questions to ask, each linked to its source. After the meeting, the review letter or suitability report is drafted from the adviser’s notes in the firm’s template. The adviser decides what to recommend and signs, and every pack and letter is dated and filed, so you can show that each ongoing advice fee was matched by a review. Quarterly and annual client reports are prepared the same way, starting from your portfolio system’s own report.
AI for wealth management firms
Twelve client reviews this month, and each pack still takes an evening of statements, notes and emails.
We prepare the review pack from your CRM and portfolio system, and the adviser approves every letter before it leaves Outlook.
Three jobs around the advice still run by hand in most boutique wealth firms: preparing client reviews, keeping KYC and suitability files current, and following up prospects and the accountants or lawyers who introduce them. The workflow starts from your existing CRM and portfolio data, nothing reaches a client without the adviser’s approval, no client portfolio is pasted into a public chat tool, and the advice itself, the suitability judgment and every signature stay with your advisers.
Today
- Annual review on ThursdayValuation, allocation against the risk profile and a year of emails pulled together by handAdviser’s evening
- KYC refreshID past the firm’s refresh date, source-of-funds evidence older than the latest inflow, capacity for loss not reassessedSpotted on the day of the review
- Introduction from an accountantProspect met in March, asked to talk again once the bonus is paidNo follow-up since
With the workflow
- Review packPerformance, allocation against the agreed profile, life events from the year’s notes and questions to ask, each linked to its sourceReady two days before
- Client fileExpired documents, outdated questionnaires and missing evidence listed per client, with the request draftedRequest waiting for the adviser
- Prospect and introducerFollow-up drafted in the adviser’s tone, and a short update for the accountant who made the introductionSent after approval
Three jobs a wealth management firm still does by hand around the advice
Each comes back with every review cycle or every new relationship, relies on records the firm already holds and ends with a decision by the adviser.
Each review is prepared from five sources the night before
The gaps in a client file show up on the day of the review
- Where it gets stuck
- An ID past the firm’s refresh date, source-of-funds evidence that predates the latest inflow, a risk questionnaire older than the firm’s refresh rule, capacity for loss never reassessed, sustainability preferences never recorded for EU clients: each gap is found when the review is booked, or by the compliance officer during a file check, then chased one email at a time.
- What the workflow does
- Starting from the refresh rules your compliance officer, or your outsourced compliance consultant, already applies, one list per client shows what is complete, what expires before the next review and what is missing, across the CRM, the document store and the inbox. The request to the client is drafted in the firm’s tone, and the adviser approves it before it goes out. The compliance officer sees every open point across the firm in one place, and no regulatory judgment is left to the workflow.
Prospects and introductions go quiet between two busy months
- Where it gets stuck
- A prospect met at a seminar wanted to talk again once the bonus was paid, and an accountant introduced a client in the spring and never heard what happened next. The follow-up depends on the adviser remembering, and the review cycle always comes first.
- What the workflow does
- Each prospect and introduction is tracked from the CRM and the inbox with the next agreed date. When it comes, a follow-up is drafted in the adviser’s tone from the notes of the last conversation, together with a short update for the introducer that leaves out every financial detail. The adviser approves both before anything leaves.
Which flow should you start with?
Three questions take about a minute, and the answer points to one of the moments above, or to a smaller step when a workflow would be too much.
Answer the three questions to see where to start.
This is an exercise: nothing is sent when you use this selector.
Do we have to change our CRM or portfolio system?
No. The workflow reads the CRM, portfolio data and documents your firm already keeps, prepares a pack, a list or a draft and puts it back where your team works, once the adviser has approved it.
- A review date or a client email arrivesA review booked in the calendar, a document about to expire, a prospect’s callback date.
- The client file is readCRM record, portfolio valuation, risk profile, documents and the year’s notes, within the access you allow.
- A pack, a list or a draft is preparedReview pack, missing documents, review letter or follow-up, each point linked to its source.
- The adviser decidesYour edits stay inside your firm’s own deployment, so the next draft starts closer to what the adviser would have written.
- Back into your toolsThe letter leaves from Outlook and the note is filed on the client record in the CRM.
- Outlook
- Microsoft Teams
- Intelliflo Office
- Plannr
- Wealthbox
- Redtail
- Salesforce Financial Services Cloud
- Orion
- Addepar
- Excel
Three conditions before anything acts
Your existing tools
The workflow runs inside the tools you already pay for, with the access rights they already have, so the team keeps its usual screens.
A named person approves
Every draft waits for a named person. Nothing goes out in the firm’s name without that approval, and exceptions go back to a human.
Every step leaves a trace
Sources, drafts, corrections and approvals are recorded, so you can see why an output was prepared and improve the next one.
The path from here: three steps
The free Leverage Scorecard
You fill it in online, without a call. The result shows at once, and only the detailed report asks for a work email.
A 30-minute call
You tell Loïc Guyon, the founder, where the time goes, and together you see whether a workflow is worth testing.
The Leverage Assessment, $999, excluding tax
A review of where you stand today and where AI can help, in two 45-minute sessions with a written report between them. If it is useful, we test one or two workflows on your own examples, anonymised or invented when the data is sensitive. The fee is deducted in full if you continue to a build, with no obligation to build. It is invoiced by AI Jungle LLC, a US company.
Looking for a specific product?
PitstopThe shared workspace for clients, households, documents and decisions, so a client’s history is readable without asking the adviser who holds the relationship.Discover Pitstop →Managed AI agent serviceWe build, run and maintain one defined workflow, such as review preparation, with named approvers, a written scope and handover notes.See the managed service →
Before you decide, your adviser marks our work on one of your own past reviews
AI outreach case study: Asia-Connect. In 3 months of production use: 755 executives contacted, a 24% reply rate, 139 qualified meetings booked, 90 of them held, and 0 messages sent without the partner’s approval.
“In the last three months, the agent helped me to book more than 90 qualified meetings with executives I would never have had time to reach, and I approved every single message before it went out. It works while I am in meetings.”
During the Assessment we prepare the pack for one client review you have already held: you send the portfolio statement and the risk profile used at that review, with the adviser’s notes from the year, under a confidentiality agreement signed first and with the client’s name and account numbers replaced by codes. We return the review pack and the draft review letter we would have produced. Your adviser marks each point right, missed or wrong in about an hour, and you keep that result whether or not you go ahead. Approval works the same way in production: at Asia-Connect, an executive search firm, the partner approved every message before it went out. Read the case study
Questions wealth management founders ask before a call
Where does our clients’ financial data go?
Client data in a wealth firm is confidential by default, so for your firm processing stays in the European Union. No client portfolio or identity document is pasted into a public chat tool. The workflow reads only the systems, mailboxes and folders you name, and any step that your compliance officer or compliance consultant judges incompatible with your client agreements and confidentiality duties stays manual.
- Your data is hosted in Germany, on Hetzner, and none of it is used to train a model.
- If you have a constraint such as professional secrecy, sensitive data or a contractual requirement, processing stays in the European Union; otherwise we choose, for each task, the model with the best price-to-intelligence ratio, and you get the provider and the place of processing in writing before it reads anything.
- A data processing agreement is signed before anything is set up or sent, including for the workflows tested during the Assessment, and you receive the written list of the systems that will read your data.
- Your installation is kept separate from every other client’s.
- Everything is yours, your data and everything produced for you: at the end of the contract you receive a full export, then all of it is deleted from our systems.
- A person approves everything before it is sent, and you can refuse any step, which then stays manual.
Which wealth management firms is this for?
Owner-led wealth management, financial planning and family office firms of 5 to 50 people, where advisers and paraplanners still prepare reviews, chase client documents and follow up introductions themselves. The workflows cover that work around the advice, never the recommendation itself.
Our CRM already schedules reviews and stores documents. What do you add?
Keep it: Intelliflo, Wealthbox, Redtail or Salesforce schedule reviews and hold the file well. The workflow adds what sits between systems: the pack that combines the portfolio valuation with the year’s notes and emails, the list of documents that expire before the next review, and the drafted letter or request waiting for approval. When your portfolio system already produces a client report, the pack starts from it.
Can you connect our CRM and portfolio system?
Intelliflo, Wealthbox, Redtail and Salesforce offer API access, which the workflow uses with your own access rights. Platform and custodian positions usually come by export from your portfolio or reporting system, and the Assessment lists any step that stays manual before anything is built.
What should we start with?
Usually review preparation: it comes back for every client every year, your review template already exists and an adviser sees at once whether the pack is complete and right. Use the selector on this page, then bring one past review to a 30-minute call.
Does this change who is responsible for suitability?
No. Suitability, the advice and the signature stay with the adviser and the firm, under MiFID II in the EU, the FCA’s suitability rules (COBS 9 and 9A) and the Consumer Duty in the UK, where the FCA has asked firms to show that the ongoing reviews clients pay for actually took place, or your fiduciary duty as a registered investment adviser in the US, which is why nothing reaches a client unapproved. Every draft keeps the sources it was built from, which helps your compliance officer when a file is checked, internally or by your regulator. The contract sets out in writing what AI Jungle answers for, and we give you wording to check with your professional indemnity insurer.
How much does it cost?
The Leverage Assessment costs $999, excluding tax, and the amount is deducted in full if you continue to a build. It is invoiced by AI Jungle LLC, a US company. The Leverage Scorecard is free, and the full path is described above.
In 30 minutes, we pick the past client review we will work on in the Assessment.
If you book the Assessment, you send that review’s portfolio statement, risk profile and notes, with names and account numbers replaced by codes, under a confidentiality agreement signed first. By the end of the call you know what to send and when you get the result back.